Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ameriprise Financial Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| John Ross | 2032447 | 3 | 07/15/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Veronica Patricia McLeod | 2960834 | 1 | 06/21/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Frisone | 3068516 | 1 | 05/11/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kelvin John Pettaway | 4693504 | 2 | 05/02/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary David Ginsberg | 1175258 | 5 | 12/07/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Henry Giles | 2041288 | 6 | 08/13/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryant Paul Weintraub | 1512624 | 1 | 06/09/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Elizabeth Bush | 2763866 | 9 | 04/28/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Warren Charles Spencer | 3013294 | 3 | 02/23/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Heinrichs | 4942126 | 4 | 02/16/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |